Gerald T. Mattingly
Professional summary
Gerald Trent Mattingly is a registered financial advisor currently at FROST INVESTMENT SERVICES located in The Woodlands, Texas and FROST BROKERAGE SERVICES, INC. located in The Woodlands, Texas.
Gerald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Gerald has worked at 14 firms and has passed the Series 66, Series 65, Series 63, Series 6TO, Series 52TO, SIE, Series 7, Series 6, Series 26, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Gerald Trent Mattingly's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 25, 2023 - Present
FROST INVESTMENT SERVICES
Office #1: 215 East Shore Dr, The Woodlands, TX 77380May 25, 2023 - Present
FROST BROKERAGE SERVICES, INC.
Office #1: 215 E Shore Drive, The Woodlands, TX 77380August 23, 2021 - June 2, 2023
PNC WEALTH MANAGEMENT LLC
August 23, 2021 - June 2, 2023
PNC WEALTH MANAGEMENT LLC
May 16, 2013 - August 23, 2021
BBVA SECURITIES INC.
January 21, 2011 - August 23, 2021
PNC MANAGED ACCOUNT SOLUTIONS, INC.
December 3, 2010 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
July 26, 2006 - August 23, 2007
CHASE INVESTMENT SERVICES CORP.
July 26, 2006 - August 23, 2007
CHASE INVESTMENT SERVICES CORP.
September 27, 2004 - June 16, 2006
BBVA COMPASS INVESTMENT SOLUTIONS, INC
September 7, 2004 - June 16, 2006
BBVA COMPASS INVESTMENT SOLUTIONS, INC
January 1, 2004 - August 27, 2004
PNC WEALTH MANAGEMENT LLC
January 1, 2004 - August 27, 2004
PNC WEALTH MANAGEMENT LLC
August 4, 2003 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
June 1, 2002 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
December 10, 2001 - June 1, 2002
PNC BROKERAGE CORP
February 14, 2000 - December 20, 2001
WACHOVIA SECURITIES, INC.
October 26, 1999 - February 14, 2000
WACHOVIA BROKERAGE SERVICE
October 12, 1998 - October 6, 1999
PRUCO SECURITIES, LLC.
July 14, 1994 - October 1, 1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 14, 1994 - October 1, 1998
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/25/2023)
(5/25/2023)
Exams
Series 6TO
Date: 5/25/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
FROST INVESTMENT SERVICES
CRD#: 286129The Woodlands, TX 77380TRUST BUT VERIFY
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